DFX Intelligence

S••••• M••• E•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

S••••• M••• E•••••••

Advisor at W•••• F•••• A•••••••

NEW YORK, NY

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Search this name across graphsid dfx:ria:b71eb30a-ee60-30e9-9505-f40e35c7bed9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 27, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Feb 13, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Aug 28, 2023	n/a	yes	NEW YORK, NY	Current employment
M••••• S••••••	Wirehouse	Jun 22, 2021	Sep 22, 2023	no	New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	W•••• F•••• A•••••••	Sep 22, 2023	Aug 28, 2023	-25	Firm change	Wirehouse to wirehouse
O••••••••• • C•• I•••	M••••• S••••••	Mar 1, 2011	Jun 22, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:19616:NY:2023-09-18	Sep 22, 2023	Aug 28, 2023	NEW YORK, NY	Firm change

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Aug 28, 2023 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 22, 2021 to Sep 22, 2023factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Feb 16, 2007 to Mar 1, 2011factForm ADV
→ B•••• H•••• I••••••••• L•••

Dated events

Occurred
Sep 22, 2023
Advisor changed firm
S••••• M••• E••••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2023-08-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b71eb30a-ee60-30e9-9505-f40e35c7bed9
First observed: Oct 27, 2004
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.